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FINRA Awards for Richard J. Kaplan

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Displaying 11-12 out of 12 results
Case Number Award Date Case Summary Customer Case? Amount Granted
10-0040612/13/2010Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Deborah Dickstein
Respondent(s): Van Zovluck
Respondent Lawyers(s): Van G. Zovluck
Arbitrator(s): Richard J. Kaplan
Hearing Site: Ft. Lauderdale, FL
06-0496807/02/2008Claimant(s): Wachovia Securities
Claimant Lawyers(s): David H. Smith
Respondent(s): Sergio Negrini
Respondent Lawyers(s): David R. Chase
Arbitrator(s): Syma S. Kasdin, Richard J. Kaplan, Norman E. Heyman
Hearing Site: Boca Raton, FL

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